Certain situations require a person to be registered to carry out a brokering activity. Once registered, a broker may apply for permits to conduct brokering transactions.

Who needs to be registered?

A person:

  • who is in New Zealand, or
  • who is a New Zealand citizen or ordinarily resident in New Zealand, or
  • that is an entity incorporated or registered under the law of New Zealand, or
  • under certain circumstances is on board a ship or aircraft that is associated with New Zealand, and
  • that carries out any brokering activity in any place (including and brokering activity that is carried out wholly or partially outside New Zealand)

must be registered to carry out a brokering activity.

Once registered, a broker may apply for permits to conduct brokering transactions.

How do I apply?

You will need to fill out our application form [DOCX, 87 KB].

Email the form and any supporting documentation to the Export Controls Office: exportcontrols@mfat.govt.nz

Do I need any other documents?

You will be required to provide supporting documentation which requires you to:

  • provide proof of identity (e.g. certified copy of birth certificate, passport or New Zealand Driver’s Licence)
  • provide proof of address-for-service (e.g. certified copy of utilities bill)
  • provide a Criminal Record History from the Ministry of Justice
  • get a Criminal History Check from the NZ Police.

The requirement for criminal checks applies even if you have no offences or criminal record – the reports will show that fact.  The application form details requirements and how to get the information.  Applications will not be processed unless they use the required forms and provide all the required information.

How am I assessed?

The Secretary of Foreign Affairs and Trade may register a person as a broker only if satisfied that the person is a fit and proper person.

For the purpose of considering whether a person is a fit and proper person, the Secretary may take into account:

  • any conviction for any offence punishable by imprisonment for 12 months or longer, whether or not:
    • the conviction was in a New Zealand court; or
    • the offence was committed before the commencement of this Act
  • if you have been previously registered as a broker, whether you breached a condition of that registration or whether that registration has been cancelled
  • if you have been given a permit under the Brokering (Weapons and Related Items) Controls Act 2018, whether you have breached a condition of that permit or whether that permit has been cancelled
  • your financial position
  • whether your application for registration contains information that is false or misleading
  • any other information and evidence (including in relation to any associate of the person) that may be relevant.

How long will it take?

The application process time can vary depending on the complexity of an application. But we will try to assess your application within a reasonable timeframe. Complex applications may take up to six weeks or longer.

What will it cost?

There is no cost for registration.

What is the duration of registration?

A broker’s registration is effective from the date of registration until the earliest of the following:

  • the close of the day that is 3 years after the date of registration
  • the end of the period specified by the Secretary
  • the cancellation or surrender of the registration.

Cancelling a registration

The Secretary of Foreign Affairs may, by written notice, cancel a broker’s registration if:

Renewal

Renewal of registration can be made using the renewal form.

Email the form and any supporting documentation to the Export Controls Office: exportcontrols@mfat.govt.nz

Conditions

The Secretary of Foreign Affairs and Trade may impose the conditions when registering the broker or at any other time consistent with or for the purpose of:

  • the effective administration of the Brokering Act
  • the security, defence, or international relations of New Zealand
  • New Zealand’s international obligations.

The broker must provide an annual report to the Secretary. The form and content of the report will be notified to you by the Ministry.

A broker must keep any prescribed records for a period of at least seven years, produce records when required and answer any questions in respect of the records.

Public register of brokers

Upon registration, the Secretary of Foreign Affairs and Trade must as soon as practicable enter the following information on the public register:

  • the broker’s full name and trading name
  • the date of registration and the date of its expiry
  • any other particulars that may be prescribed in regulations
  • a statement as to whether the broker’s registration is subject to any conditions.

The Secretary may omit or remove any particular from a public register if:

  • the person requests the Secretary to do so on the basis that the particular is personal information
  • the Secretary considers that the disclosure of the information on the public register would constitute an unreasonable interference with the privacy of any individual.

Refusal to register a broker

If the Secretary of Foreign Affairs and Trade refuses to register a person as a broker, the Secretary must give the person written notice of the refusal and the reasons for it.

Appeals

A person who has applied for registration or been registered may appeal to the District Court against any decision of the Secretary:

  • to refuse to register the person as a broker
  • to impose a condition on the person’s registration
  • to cancel the person’s registration.

An appeal must be made within 30 days after the decision appealed against is given, or within any further period that the District Court may allow.

A decision against which an appeal is lodged continues in force unless the District Court orders otherwise.